Forum Securities Limited (Old Greenwich)

Name: Forum Securities Limited
Address: 1700 E. Putnam Avenue, Old Greenwich, CT, 06870 1366
Telephone: 203-983-5207

Forum Securities Limited is a large advisory firm based in Old Greenwich. It manages $243.52 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Connecticut.

Forum Securities Limited provides portfolio management for investment companies and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Forum Securities Limited: assets under management

The assets under management (AUM) of Forum Securities Limited is $243.52 million. The firm's AUM has gone down by -34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $43.31 million in discretionary accounts and $200.22 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $10.83 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $50.05 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Forum Securities Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Forum Securities Limited

Jana Andonegui Sehnalova has been acting as President since 1 Jul 2009. Niall Patrick Conlon joined the executive team most recently as the Chief Legal Officer + Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Forum Holdings Limited	Direct owner	1 Jun 2009	75% - 100%	98-0626596
Mark William Pearson	Chief compliance officer	1 Jul 2009	Other	5727478
Daniel Gary Pine	Managing director	1 Jul 2009	Other	2787683
Jana Andonegui Sehnalova	Director	1 Jul 2009	Other	5727643
Russell Christopher Platt	Chief executive officer	1 Jul 2009	Other	1567825
Corrado Roberto Russo	Director	1 Jul 2009	Other	5728100
David Alan Karp	Chief financial officer	1 Jul 2009	Other	1790182
David Douglas Reeder	Chief operating officer	1 Nov 2010	Other	5906772
Caroline Mcbride	Director	1 Feb 2011	Other	4716134
Richard Robert Cotton	Director	1 Feb 2011	Other	5906755
Douglas A Funke	Managing director	1 Mar 2012	Other	2375582
Forum Holdings B.V.	Direct owner	1 Sep 2013	75% - 100%	46-4345499
Sophia Banar	Managing director	1 Jun 2014	Other	3128600
La Francaise Asset Management	Direct owner	1 Jul 2016	75% - 100%	foreign entity
Jana Andonegui Sehnalova	Managing director	1 Aug 2016	Other	5727643
Niall Patrick Conlon	Chief legal officer + chief compliance officer	1 Aug 2016	Other	6694469
Russell Christopher Platt	Director	1 Aug 2016	Other	1567825
Pascale Germaine Auclair	Director	1 Aug 2016	Other	4359249
Pierre Lasserre	Director	1 Aug 2016	Other	6694487
Philippe Guy Jean Claude Lecomte	Director	1 Aug 2016	Other	6385556

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Andrew Nicholas Walker	Member	1 Jul 2009	25% - 50%	5727641
Russell Christopher Platt	Member	1 Jan 2010	25% - 50%	1567825
Russell Christopher Platt	Member	1 Sep 2013	25% - 50%	1567825
Groupe La Francaise	Indirect owner	1 Jul 2016	75% - 100%	foreign entity
Caisse Fédérale Du Crédit Mutuel Nord Europe	Indirect owner	1 Jul 2016	75% - 100%	foreign entity

Based in Old Greenwich

The principal office where Forum Securities Limited performs its advisory services is located at 1700 E. Putnam Avenue, Old Greenwich, CT 06870 1366, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-983-5207 or by fax 203-302-3319. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at forumsecuritiesltd.com.